James W. Bulliment
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Wilfred Bulliment was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1975. James had worked at 5 firms and has passed the Series 63, Series 7, Series 5 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 1995 - December 31, 1998
D H BRUSH & ASSOCIATES, INC.
January 8, 1993 - September 19, 1995
KENT KING SECURITIES CO., INC.
July 1, 1988 - March 29, 1989
ROBERT W. BAIRD & CO. INCORPORATED
August 10, 1977 - July 1, 1988
BMMG CAPITAL CORP.
December 3, 1975 - December 8, 1976
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 6/23/1982
Interest Rate Options ExaminationCurrent Firm
D H BRUSH & ASSOCIATES, INC.
CRD#: 3667 / SEC#: , 8-13727
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
